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Filing Details

Accession Number:: 0001209191-23-057398
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2023-12-05 16:15:39
Reporting Period:: 2023-12-01

Accepted Time:: 2023-12-05 16:15:39
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1699838	Confluent Inc.	CFLT	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1542687	Erica Schultz	C/O Confluent, Inc. 899 W. Evelyn Avenue Mountain View CA 94041	President, Field Operations	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Class A Common Stock	Acquisiton	2023-12-01	75,000	$0.00	554,537	No	4	C	Direct
Class A Common Stock	Disposition	2023-12-01	4,100	$21.40	550,437	No	4	S	Direct
Class A Common Stock	Disposition	2023-12-01	69,100	$22.59	481,337	No	4	S	Direct
Class A Common Stock	Disposition	2023-12-01	1,800	$22.93	479,537	No	4	S	Direct
Class A Common Stock	Acquisiton	2023-12-04	75,000	$0.00	554,537	No	4	C	Direct
Class A Common Stock	Disposition	2023-12-04	17,500	$23.46	537,037	No	4	S	Direct
Class A Common Stock	Disposition	2023-12-04	57,500	$23.92	479,537	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Direct
No	4	C	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Class B Common Stock	Stock Option (Right to Buy)	Disposition	2023-12-01	75,000	$0.00	75,000	$3.41
Class A Common Stock	Class B Common Stock	Acquisiton	2023-12-01	75,000	$0.00	75,000	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2023-12-01	75,000	$0.00	75,000	$0.00
Class B Common Stock	Stock Option (Right to Buy)	Disposition	2023-12-04	75,000	$0.00	75,000	$3.41
Class A Common Stock	Class B Common Stock	Acquisiton	2023-12-04	75,000	$0.00	75,000	$0.00
Class A Common Stock	Class B Common Stock	Disposition	2023-12-04	75,000	$0.00	75,000	$0.00

Remaning Holdings	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2,004,675	2029-12-04	No	4	M	Direct
75,000		No	4	M	Direct
0		No	4	C	Direct
1,929,675	2029-12-04	No	4	M	Direct
75,000		No	4	M	Direct
0		No	4	C	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Class A Common Stock	40,487	Indirect	See footnote
Class A Common Stock	11,500	Indirect	See footnote
Class A Common Stock	55,422	Indirect	See footnote
Class A Common Stock	79,091	Indirect	See footnote
Class A Common Stock	13,500	Indirect	See footnote
Class A Common Stock	200,000	Indirect	See footnote

Footnotes

Each share of Class B Common Stock held by the Reporting Person will automatically convert into one share of Class A Common Stock upon the sale or transfer of such share of Class B Common Stock, subject to certain exceptions, and in certain other circumstances described in the Issuer's amended and restated certificate of incorporation. Each share of Class B Common Stock will also be convertible at any time at the option of the Reporting Person into one share of Class A Common Stock.
Shares sold pursuant to a 10b5-1 trading plan dated August 19, 2023.
The shares were sold at prices ranging from $20.87 to $21.81. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The shares were sold at prices ranging from $21.90 to $22.89. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The shares were sold at prices ranging from $22.90 to $22.95. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The shares were sold at prices ranging from $22.66 to $23.65. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The shares were sold at prices ranging from $23.66 to $24.17. The reporting person will provide to the SEC, the issuer or security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
The shares are held by The Schultz Family Irrevocable Remainder Trust.
The shares are held by The Bryan and Erica Schultz Family Revocable Trust.
The shares are held by the Erica Schultz 2022 Annuity Trust.
The shares are held by the Erica Schultz 2023 Annuity Trust.
The shares are held by The Ruliffson Schultz Extended Family Trust.
The shares are held by The Schultz Family 2021 Irrevocable Beholder Trust.
The shares subject to the option are immediately exercisable. 25% of the shares vested on 10/28/2020 and the remainder vest in 36 equal monthly installments thereafter, subject to Reporting Person's continuous service through each such vesting date.